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FINRA Series_63 Exam Syllabus Topics:

Section	Objectives
State Securities Acts and Related Rules	- Exempt securities and exempt transactions - Registration of securities, broker-dealers, agents, and investment advisers - Definitions and terminology under Uniform Securities Act
Regulatory Provisions and Compliance	- Enforcement actions and penalties - Ethical practices and fiduciary obligations - Recordkeeping and administrative provisions
Registration Procedures and Requirements	- State notice filings and renewals - Registration process for agents and broker-dealers

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1

Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:

A. only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.
B. immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
C. immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
D. only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.

Reveal Solution Discussion 0

Correct Answer: C 🗳️